Form D · Other
ROK Resources Inc.
Regina, A9 · CIK 0001514363
Offering snapshot reported Mar 17, 2022 · SEC filing
- Reported sold
- $494K Offering amount: $1.18M
- Investors reported
- 1 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Mar 4, 2022 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Mar 17, 2022 | Initial | $494,109 | No comparison | 1 | SEC filing |
| Mar 8, 2011 | Initial | $4,688,572 | No comparison | 7 | SEC filing |
Offering details
- Securities
- Equity, Option to acquire, Security to be acquired, Other
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- No
- Sales commissions
- $34.6K
- Finders' fees
- $0
- Form D file number
- 021-437734
"Total Remaining to be Sold" is the aggregate purchase price of shares underlying warrants sold in this offering. U.S. dollar amounts are based on the Bank of Canada exchange rate 0.7843 reported on March 4, 2022.
Subscription receipts convert w/o additional consideration into Units consisting of 1 cm sh & 1 cm sh purchase wrt. Each wrt is exercisable for 1 cm sh at a price of C$0.25 for a period of 36 months from the date of closing.
7% gross of proceeds.
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| GLOBAL ALLIANCE SECURITIES LLC | 167164 |
Source: Form D, filed Mar 17, 2022. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Young Bae Ku | Director |
| Sean Bovingdon | Executive |
| Lynn Chapman | Executive |
| Jeff Chisholm | Director |
| Robert Cross | Director |
| David Hergenhein | Director |
| Jared Lukomski | Executive |
| Kent Mc Dougall | Director |
| Max Rolla | Executive |
| Cameron Taylor | Director, Executive |
| Doug Urch | Director |
| Krishna Vathyam | Director, Executive |
| Gregg Vernon | Director |
| Bryden Wright | Executive |
| Peter Yates | Director, Executive |
Issuer details
Industry: Other (See others in industry)
Address:
1881 Scarth Street Suite 1500
Regina, A9, S4P 4K9
Regina, A9, S4P 4K9